David Patrick Farrell

Current Employers

Employment History

• 07/2008 → 07/2018
  Lincoln Financial Securities Corporation
  Houston, TX
• 07/2018 → 10/2021
  Ameriprise Financial Services Inc
  Kingwood, TX
• 11/2021 → 06/2024
  Securities America, Inc.
  Humble, TX
• 11/2021 → 06/2024
  Securities America Advisors
  Humble, TX
• 06/2024 → Present
  Osaic Wealth, Inc.
  Humble, TX

Previous Registrations

• 2021-11-01 → 2024-06-14
  Securities America Advisors, Inc.
  Humble, TX
• 2018-07-30 → 2021-11-03
  Ameriprise Financial Services, Llc
  Kingwood, TX
• 2000-08-03 → 2018-08-02
  Osaic Fs, Inc.
  Spring, TX
  Kingwood, TX
  Kingwood, TX

Other Businesses

INSURANCE SALES POSITION: Agent NATURE: Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 09/29/2021 ADDRESS: 19506 HIGHWAY 59 NORTH, STE 315, Humble TX 77338 DESCRIPTION: Insurance Sales SAA POSITION: IAR NATURE: Advisory INVESTMENT RELATED: Yes NUMBER OF HOURS: 145 SECURITIES TRADING HOURS: 145 START DATE: 09/29/2021 ADDRESS: 19506 HIGHWAY 59 NORTH, STE 315, Humble TX 77338 DESCRIPTION: Advisory DBA - Precept Wealth Management PRECEPT WEALTH MANAGEMENT POSITION: Advisor NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/15/2021 ADDRESS: 19506 Hwy 59 N, Ste 315, humble TX 77345, United States DESCRIPTION: This is marketing name for our office.

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-04-13
• S63 Uniform Securities Agent State Law Examination
  1998-03-12

Other Names

• David Farrell